Business , an intermediary shall at least comply with the following rules: (1) such revision and updating thereof shall be performed within the following periods of time: (a) the information for the purpose
information which has been registered, the management company shall immediately submit an application for the change and revision of such items in the registration so that the information thereof shall be up-to
held at least twice a month for revision and monitoring of performance , mechanism for regular measurement, monitoring and control of the risk from investment and system for recording and retaining the
preparations for economic, social and environmental changes, which will lead to the increase in opportunities and competitiveness. The Company may provide a brief description as deemed appropriate. In addition
Clause 37 of the Notification on Standard Conduct of Business , an intermediary shall at least comply with the following rules: (1) such revision and updatiing thereof shall be performed within the
exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse
managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
แบบแสดงราการข้อมูลประจำปี (UNOFFICIAL TRANSLATION) (Revision 2015) PAGE 8. Audit Firm Profile and Details Name of Audit Firm................................. For the year ending
the Office shall be positive. In case where the securities company increase its paid-up capital after the issuance of the latest financial statement, such increasing shall be calculated in the